Enforcement record
Issuance of Warning Letter disclosure naming FSE証券
This page records one action from a Japanese government disclosure, including the published name, governing law, authority, action details, and official source.
Action type
Issuance of Warning Letter
Law
Financial Instruments and Exchange Act
Authority
Financial Services Agency and Local Finance Bureaus
Action date
1 June 2026
Current page: Enforcement record
This screen focuses on one disclosed action: the published name, governing law, authority, facts, source status, and review evidence.
Source verification
Public-source and preservation status
- Publishing authority
- Financial Services Agency and Local Finance Bureaus
- Official source URL
- Recorded by RegBase
- Entity match
- Not confirmed; shown under the published name
- Kiroku preservation
- Saved content requires review
- Captured: Jun 20, 2026, 03:31 AM JST
“Confirmed” means that RegBase matched this record to the cited public disclosure or entity under the stated checks. It does not verify the truth of the disclosure or guarantee the entity’s current status, creditworthiness, or any legal conclusion.
Available sources and saved files are listed in the public documents section below.
Action summary
- Company
- FSE証券Japanese onlyOriginal: FSE証券
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Issuance of Warning Letter警告書発出
- Action date
- 1 June 2026
- Issuing authority
- Financial Services Agency and Local Finance Bureaus金融庁・財務局
- Industry context
- 無登録金融商品取引業者（国内）
Violation
The entity displayed that it conducts financial instruments business on a free email account, using the names [FSE Securities], [Fidelity Securities Exchange], and the registration number [Kanto Financial Bureau Director (Kinsho) No. 152], which was falsely claimed as the registration number of a financial instruments business operator. Fidelity Securities Co., Ltd., which is registered with the number [Kanto Financial Bureau Director (Kinsho) No. 152], has confirmed that it has no relation to the entity in question.
Show original Japanese text
フリーメール上に金融商品取引業を行う旨を表示したもの 当該業者は、フリーメール上で「FSE証券」、「Fidelity Securities Exchange」、「関東財務局長（金商）第152号」等と表示し、財務局の登録番号を詐称していた。 なお、「関東財務局長（金商）第152号」は、登録を受けた金融商品取引業者である「フィデリティ証券株式会社」の登録番号であるが、フィデリティ証券株式会社が当該業者とは一切関係がない旨確認している。
Public documents and saved materials
View official publications and the available saved materials. Purchase a one-time evidence pack to download the compiled files.
Loading materials…
Compliance context
Context neededThis is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.
Financial markets law covering securities, investment services, disclosure, and market conduct.
Review the original Japanese source and determine relevance to your counterparty-risk workflow.
This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
Language
日本語版を見る (Japanese)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.